25
See ibid.
26
For further background on the CFTC's Division of Clearing and Intermediary Oversight, see http://www.cftc.gov/About/CFTCOrganization/index.htm.
27
For further background on the CFTC's Division of Enforcement, see http://www.cftc.gov/LawRegulation/Enforcement/index.htm.
28
See 7 U.S.C. section 6d(a).
29
See CFTC Regulation 170.15.
30
For further background on FINRA, see www.nfa.futures.org/.
31
See http://www.nfa.futures.org/NFA-faqs/compliance-faqs/examinations/index.HTML.
32
See ibid.
33
See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/how-NFA-fights-fraud-and-abuse.HTML.
34
See http://www.nfa.futures.org/NFA-about-nfa/who-we-are/customer-protection-initiatives.HTML.
35
See ibid.
36
Mediation is a settlement process in which the parties work together with a mediator to find a mutually agreeable solution. For further information on the NFA's arbitration programs, see http://www.nfa.futures.org/%5C/NFA-about-nfa/who-we-are/dispute-resolution.HTML.
37
For further background on the DOJ, see the website at www.justice.gov/.
38
39
See http://www.justice.gov/criminal/fraud/fcpa/guidance/guide.pdf.